我国证券投资咨询问题研究-RESEARCHREPORT

RESEARCHREPORT1234112321940198619982004341997199719971997199819991999200020012002200520052005(2006)567891000ABH10200097111430415250%030460.321000.198004349370.01222002200520032001320051165.7%16.7%17.6%29%121320%80%142002,1%2%,151617181920212223242526272829303132333435363738394041(Graham&Trotmaned.,1992).7.DavidB.LevantFinancialColumnistsasInvestmentAdvisers:AfterLoweandCarpenter74Calif.L.Rev.2061.8.DonaldE.Lively,Article:SecuritiesRegulationandFreedomofthePress:TowardaMarketofIdeasintheMarketplaceofInvestment,60Wash.L.Rev.843(1985).9.Oxera,DescriptionandassessmentofthenationalinvestorcompensationschemesestablishedinaccordancewithDirective97/9/EC,areportpreparedforEuropeanCommission(InternalMarketDG),(2005).10.JamesH.Walsh,FederalRegulationofFinancialPlannersAftertheInvestmentAdvisersSupervisionCoordinationAct,10DePaulBus.L.J.259,269(1998).11.AmericanBarAssociation'sSubcommitteeonCivilLitigationandSECEnforcementMatters,LawFirmPoliciesRegardingInsiderTradingandConfidentiality,47Bus.Law.235,(1991).12.AlanHowardTheConstitutionalityofDeceptiveSpeechRegulations:ReplacingtheCommercialSpeechDoctrinewithaTort-BasedRelationalFramework41CaseW.Res.1093.13.VirginiaStateofBoardPharmacyv.VirginiaCitizensConsumerCouncil,Inc.Lowev.SecuritiesandExchangeCommission,472U.S.181(1985).14.SecuritiesandExchangeCommissionReleaseNo.IA-2091;FileNo.S7-10-02.15.SECv.CapitalGainsResearchBureau,375U.S.180(1963).16.BancaCremi,S.A.v.Alex.Brown&Sons,Inc.,132F.3d1017,(4thCir.1997).17.Zweigv.HeartCorp.,594F.2d1261(9thCir.1979).